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Microsoft's Perspective on Risk & Compliance
Reflections about Governance, Risk Management & Compliance (GRC)
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Microsoft's Perspective on Risk & Compliance
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Jeff Jinnett: GRC White Papers, Online Articles and Blogs of Some Microsoft Partners
Microsoft has an extensive ecosystem of software and systems integration partners with offerings in the governance, risk management and compliance space [i] . The three areas of governance, risk management and compliance intersect to a certain extent and some Microsoft partners have solution offerings...
2 Oct 2010
Jeff Jinnett: Dodd-Frank Legislation: Some Post-Passage Developments
On the eve of heading off on vacation, I decided to post on some developments that have occurred post-passage of the Dodd-Frank Wall Street Reform and Consumer Protection Act: A. M. Best announces it will not permit its ratings of insurance companies to be cited in registration statements and...
14 Sep 2010
Jeff Jinnett: SEC Adopts Final Rule on Proxy Nominations for Board of Directors
My June 29 th blog posting on this topic noted the Dodd-Frank legislation authorizes the SEC to issue rules granting shareholder access to management’s proxy statement for the purpose of nominating directors to the board. On August 25, 2010, the U.S. Securities and Exchange Commission adopted a...
31 Aug 2010
Jeff Jinnett: Whistleblower “Bounty Hunters” Under the Dodd-Frank Legislation
If you can imagine Wall Street as an Old West Dodge City and the U. S. Securities & Exchange Commission as the local marshal, “wanted” signs are being figuratively nailed up for U. S. public companies and a new class of whistleblower “bounty hunters” will be lining up in hopes...
16 Aug 2010
Jeff Jinnett: Framework for Designing Applications for Microsoft Surface®
Microsoft Surface ® is a table-top computer that responds to natural hand movements and tag-enabled objects, with four unique capabilities: (a) direct interaction (users can interact with content on-screen by touch and gesture), (b) multi-user experience (the display enables several people to interact...
4 Aug 2010
Jeff Jinnett: Dodd-Frank Act - The Devil’s in the Details and Fasten Your Seatbelts
Now that the Restoring American Financial Stability Act of 2010 (the Dodd-Frank legislation or “the Act”) is about to be enacted into law, the question is: what happens next? At a length of approximately 2,300 pages, one might assume the Act contains detailed rules on the reforms the U.S...
21 Jul 2010
Jeff Jinnett: Directors of Public Companies No Longer “Parsley on the Fish”
Irving Olds, Chairman of U.S. Steel from 1940-1952, once opened a speech by declaring, "Directors are like the parsley on fish – decorative but useless.” The perceived importance of directors has changed radically since the time of that speech as a result of the Sarbanes-Oxley Act and New...
29 Jun 2010
Jeff Jinnett: Amendments to U.S. Federal Sentencing Guidelines as to What Constitutes an Effective Compliance and Ethics Program, to Take Effect on November 1, 2010
On April 7, 2010, the United States Sentencing Commission [i] voted to modify the U. S. Federal Sentencing Guidelines' standards for what constitutes an “effective compliance and ethics program” [ii] . The Sentencing Guidelines are consulted by judges in connection with companies found guilty...
15 Jun 2010
Jeff Jinnett: Towards a Structured GRC Taxonomy
Although governance, risk management and compliance laws and regulations may vary greatly depending on the jurisdiction, issuing authority, regulator and target industry, there appear to be certain common GRC issues that can be used to group mandates into categories. For example, the following nine GRC...
1 Jun 2010
Jeff Jinnett: Prepare for Coming HITECH Act Healthcare Privacy & Security Audits
The Health Information Technology for Economic and Clinical Health (HITECH) Act [i] , signed into law on February 17, 2009, is designed to promote the adoption and meaningful use of health information technology. Subtitle D of the HITECH Act strengthens the civil and criminal enforcement of the privacy...
17 May 2010
Jeff Jinnett: Open Text Content Day in New York City
On April 21, 2010, I participated as a speaker at the Open Text Content Day, which was held at the Marriott Marquis Hotel in New York City (i). Open Text is one of Microsoft’s strategic partners in the enterprise content management space(ii). Speakers from Open Text at the Content Day included Richard...
3 May 2010
Jeff Jinnett: The Film “The Hurt Locker” as the “I Ching” for Today’s CIO
Quote from the film “You’ve Got Mail” (Tom Hanks as “Joe Fox” to Meg Ryan as “Kathleen Kelly” as she asks for advice as to how her small neighborhood book store can compete with a large national bookstore chain): “The Godfather is the I Ching. The Godfather is the sum of all wisdom. The Godfather...
19 Apr 2010
Council on Litigation Management (CLM) Annual Conference-a report from Jeff Jinnett
On March 25th, I participated in a panel presentation entitled “The Evidence Lifecycle Management Standard for Early Case Assessment and Beyond” at the Council on Litigation Management (CLM)  Annual Conference. My panel was sponsored by WorkProducts, a key Microsoft partner offering solutions in the...
5 Apr 2010
Semi-Automation of Compliance Processes: A UML Approach - insight from Jeff Jinnett
It has been estimated that 55 percent of the cost of any compliance program is due to staffing and training 1 . Therefore, semi-automation or full automation of compliance processes can be a critical path to lowering overall compliance costs for large enterprises. One possible approach to developing...
22 Mar 2010
Technology Issues Related to the Proposed New York Insurance Exchange - thoughts from Jeff Jinnett
New York State is currently considering the creation by 2011 of a new insurance exchange. It would be based in New York City and would be designed to complement the existing Lloyd’s of London insurance exchange for the placement of reinsurance and insurance for complex risks usually covered under surplus...
8 Mar 2010
Failure to Upgrade Software Systems as a Potential Regulatory Risk - thoughts from Jeff Jinnett
In the current highly regulated, but intensively competitive banking environment, many banks are upgrading to the latest versions of third party operational software in order to be able to take advantage of new features, such as multi-touch capability. Conversely, other banks may seek to reduce costs...
22 Feb 2010
The Future is Now – a posting from Jeff Jinnett
Chris Pratley of Microsoft Office Labs notes in one of his recent blogs: “Last year we released a “productivity future vision” concept video called “A Glimpse Ahead…”, also popularly known as the 2019 video, although we’re not really that specific on timeframe. The video is based on work being...
8 Feb 2010
Analysis using "Pivot" - a preview by Jeff Jinnett
Microsoft Live Labs recently introduced a private access beta version of the “Pivot” tool leveraging Windows 7, the Internet Explorer rendering engine and Silverlight. Access to the Pivot tool can be requested at http://getpivot.com . Pivot is a multimedia search tool that is designed to create very...
17 Jan 2010
Federal Preemption in the Area of Data Security Breach Laws - an update from Jeff Jinnett
As we have noted in previous postings on this weblog, there appears to be an increasing trend toward the federalization of regulatory areas impacting the financial services industry. Thus, the legislation to create a new Consumer Financial Protection Agency (CFPA), which passed out of the House Financial...
26 Oct 2009
Jeff Jinnett: The Nimble Approach to Compliance: Multi-Purpose IT Solutions and “Nexialist” Compliance Attorneys
Regulatory compliance has become an increasingly costly burden. For example, SIFMA has estimated that the U.S. securities industry in 2004 spent $23.2 billion on compliance-related activities(1). In addition, regulatory mandates have become more intrusive in their application to how business is conducted...
4 Oct 2009
Susan Hauser, VP of Microsoft Financial Services, on New Challenges in Risk Management and Compliance
As the global economic crisis rumbles on, financial firms of all kinds anticipate an overhaul of risk management and regulatory frameworks. I asked Microsoft’s global head of Financial Services, Susan Hauser, for her views: Sai: Susan, as the global head of Microsoft Financial Services, what has the...
26 Sep 2009
Jeff Jinnett: The Catch-22 of Record Retention
At the heart of the record retention challenge is the difficult question as to what types of documents to maintain for compliance purposes and how long to maintain them. In certain cases, applicable laws and regulations specify the types of documents to retain and the length of time to retain them. For...
19 Sep 2009
Jeff Jinnett: Value of an IT Security Due Diligence Document/Risk Mitigation Plan
If a company were ever asked to describe its IT security program, the company likely would have to bring in numerous staffers from the IT department and refer to reams of documents to present a full picture of the company’s IT security approach. The need to be able to describe the company’s IT security...
31 Aug 2009
Jeff Jinnett: Adopting an Enterprise-Wide EDRM Platform to Get Electronic Discovery Under Control (Part II)
Our previous posting provided an overview of the typical ediscovery lifecyle and identified the need for an enterprise-wide approach to ediscovery. This posting will explore the explore some of issues relating to the ediscovery process steps in more detail and describe the characteristics of an enterprise...
17 Aug 2009
Jeff Jinnett: Adopting an Enterprise-Wide EDRM Platform to Get Electronic Discovery Under Control (Part I)
One of the challenges facing many companies today is how to handle the production of electronic documents in the course of litigation discovery. For companies embroiled in litigation, electronic document records management can be an increasingly daunting and expensive task . It is black letter law...
17 Aug 2009
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